SEC Form 4 · accession 0001140361-17-002753
Rezolute, Inc. · RZLT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David F Welch
Director
Period of report
Jan 18, 2017
Accepted (ET)
Jan 24, 2017 · 7:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001509261
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 18, 2017 | P | 5,000 | $1.00 | A | 1,771,432 | I | By LRFA, LLC |
| Common StockF1 | Jan 19, 2017 | P | 10,000 | $0.95 | A | 1,781,432 | I | By LRFA, LLC |
| Common StockF1 | Jan 20, 2017 | P | 9,983 | $1.07 | A | 1,791,415 | I | By LRFA, LLC |
| Common Stock | holding | — | — | — | 15,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC.